Idaho Records Center A Program of the Idaho State Archives

Transcription

1 Idaho Records Center A Program of the Idaho State Archives Data Processing Records Retention Schedule of the Records Management Guide (This Schedule Revised April, 2008) C.L. BUTCH OTTER, GOVERNOR Idaho State Historical Society Janet Gallimore, Executive Director Rod House, State Archivist Idaho State Archives 2205 Old Penitentiary Road Boise, Idaho Phone: (208) [email protected] Fax: (208) history.idaho.gov history.idaho.gov

2 TABLE OF CONTENTS GUIDELINES... A-9-1 INTRODUCTION TO RECORDS RETENTION SCHEDULE... A-9-2 HOW TO USE THESE SCHEDULES... A-9-4 DATA PROCESSING RECORDS... A-9-44 Activity Monitoring Records A-9-44 Batch / Data Entry Control Forms A-9-44 Computer Hardware Maintenance Records A-9-44 Computer Job Schedules And Reports A-9-44 Computer Utilization And Billing Reports A-9-45 Computer-Produced Output A-9-45 Data Documentation For Non-Permanent Databases A-9-45 Data Documentation For Primary Operations Databases A-9-46 Data Processing Planning Records A-9-46 Program Source Code A-9-47 System Documentation For Non-Permanent Databases A-9-47 System Documentation For Permanent Databases A-9-48 SG NUMBER INDEX...L-1 INDEX...1 APPENDIX 9 - Data Processing Records i

3 APPENDIX 9: RECORDS RETENTION SCHEDULE FOR STATE GOVERNMENT AGENCIES GUIDELINES A record is recorded information, in any form, including data in computer systems, created or received and maintained by an organization or person in the transaction of business or the conduct of affairs and kept as evidence of such activity. The following records retention schedule is reviewed and modified, if necessary, on a yearly basis. The schedule is designed to be a reference in designing individualized agency retention schedules and to provide a level of uniformity in records retention throughout Idaho state government. The State Record Center, Department of Administration, should be contacted regarding proposed changes or modifications to the records in this schedule, or if activities of an agency require different retention. All retention periods are filed by either the fiscal or calendar year. For all UNANNOTATED DUPLICATE COPIES, preferably immediately after administrative need ends by either the fiscal or calendar year. A-9-1

4 APPENDIX 9: Guidelines INTRODUCTION TO RECORDS RETENTION SCHEDULE This schedule is intended for use within an agency s records management program. Regardless, until an agency creates a version of this records retention series specific to its facilities, these are the accepted and established time frames and limitations that should be adhered to. Retention Schedule Headings Definitions Series # Series Title Office of Record Retention Period Transfer Instructions Archival Vital Guidance: Restricted Access Number associated with each schedule type A general description of the series Office that commonly creates the record and holds it during its active period Time to retain the record; life of the record Where a record goes after its active period A Indicates the record is or may be permanent and have historic value R Indicates a required review by the Records Manager to determine value X Record is vital for immediate operation of the office of origin or the institution. RA Refers to the security needs of a record series. Must be justified. Access to applicable records should be limited to authorized personnel and approved individuals due to privacy and educational interests. Questions about limits should be based on the type of records, its content and the nature of the request for access and use. Records may contain, but are not limited to, confidential, personal or proprietary information. Guidance: Authorities Federal and State laws, regulations or requirements that pertain to the series. Where not specifically referenced, Idaho Code through of the Public Records Law has been applied. Note that there are exemptions for the access requirements of this law. These may be noted as well. A-9-2

5 APPENDIX 9: Guidelines Retention Codes (Refer to Records Regardless of Format; Type May Vary) AC AV After closed, terminated, completed, expired, settled or last date of contract As long as administratively valuable CE Calendar Year End (December 31 st ) FE Fiscal Year End (June 30 th ) LA PM UA US Life of Asset Permanent University Archives Until Superseded A-9-3

6 APPENDIX 9: Guidelines HOW TO USE THESE SCHEDULES ESTABLISHING A SCHEDULE This schedule assumes that: The person using it is knowledgeable about his/her office or agency s records; An inventory of the records of the office or agency will be performed; Time will be taken to apply the definitions to the records found on hand; and Records will not be ed or reorganized without supervision of the agency s Records Manager or consultation with the State Archivist. FUNCTIONS AND TYPES OF RECORDS This schedule is intended to address records common to most offices and agencies of the State of Idaho. Not every type of record listed here will occur in every agency. Some agencies will discover they have records that do not appear to fit any of these series. For those records, contact the State Archivist or the agency s Records Manager for guidance. HIERARCHY OF RECORDS WITHIN AN AGENCY Put simply, not every office holding a copy of a record is holding the record copy. An example is time sheets. The record copy of a time sheet is the one signed and sent to the payroll office. Any copies kept in other offices to confirm later payroll reports (e.g., proper charges to accounts, etc.) are a short-term record, as are any personal copies in other offices. The Office of Record is the payroll office. When trying to assess the value of a record in the focus area, bear this concept in mind: Where does the ultimate responsibility for a document, report or record lie? There are instances where a record has value for different reasons in different offices. This is the primary reason a physical inventory of records is essential to this process. WHEN A RECORD SHOULD BE RETAINED LONGER THAN ITS RETENTION Documents, regardless of format or storage media (e.g., electronic files), associated with any dispute, audit or legal proceeding should not be ed or altered without consultation with the agency s Records Manager, General Counsel, Deputy Attorney General or the State Archivist. CONFIDENTIALITY, RESTRICTED ACCESS AND PUBLIC RECORDS The need to limit access to a record type does not mean that it is unavailable as a public record. Requests for access to public records should be handled by personnel familiar with the requirements of the laws and regulations that apply to the information requested; and For some records flagged in this schedule as RA Restrict Access, copies can be furnished where restricted information is blocked out or redacted to make it available to a public records request. An example is a contract that may be copied if social security number, names, etc., have been obscured. A-9-4

7 APPENDIX 9: Guidelines Concerns about making records available to a public records request should be addressed to the agency s Records Manager, General Counsel, Deputy Attorney General or the State Archivist. CREATING AN AGENCY S RETENTION SCHEDULE Once an inventory is completed and a summary of the record series which occur in the agency s office has been compiled, based on this general schedule, a set of decisions will need to be made to establish the Office of Record for each record type. NOTE: For many common series, like correspondence, the Office of Record will probably be the office of origin until it is time to transfer the inactive years of material to the State Archives. Other records have obvious homes, like payroll records (Accounting or Payroll) and permanent or long-term personnel files (Human Resources). It should be noted that smaller-scale agencies may find that a central office becomes the Office of Record for many record types because of staffing or the preference of the agency director. For agencies with regional offices around the State, these decisions may seem problematic. However, with a careful focus on the needs of the offices within an agency and by consulting the State Archivist, these decisions can be made to the benefit of all. One of the established benefits of records management, with improved accountability of the Office of Record, is efficiency, in both expense and time, of being able to retrieve a record when it is truly needed, without multiple copies taking up space throughout an agency or an office. HOW TO USE THE RETENTION SCHEDULE FORMAT Please consider the sample inserted below. Microsoft Excel was used to create this version of the retention schedule document. The fields of the table should be adhered to for compatibility with other State agencies and offices within a given agency. The Records Retention Form, an online Excel fill-in form document, may be accessed at adm.idaho.gov/purchasing/record_cnt.htm. A-9-5

8 APPENDIX 9: Guidelines SAMPLE RECORDS Series # Series Title (Additional Description) Office of Record Retention Period & Transfer Instruction (By Year) Archival (A) or (R) Vital (X) Guidance SG0110 PERIODIC BUDGET REPORTS Monthly or routine reports on the status of agency appropriation accounts and apportionment, excluding Annual Budget Reports. FE +3, then SG1310 LOSS CONTROL INSPECTION REPORTS An annual self-inspection report used to identify potential hazards within the building or on the agency property. This record may also be used as evidence in defense of a claim. Risk Management US +12, then GUIDANCE: - Retain by agency until superseded or obsolete, then send to Risk Management. SG18312 STUDENTS - FINANCIAL AID RECORDS - FFEL AND DIRECT LOANS Records related to borrower s eligibility and participation. All audit requirements to be met prior to disposal. AC +3, then RA-Access: FERPA, Confidential Record. SG18559 GUIDANCE: - AC - End of the award year in which the student last attended. - Retention based on 34 CFR COMPUTER SYSTEMS - HARDWARE DOCUMENTATION Operational and maintenance requirements of computer hardware, such as operating manuals, hardware configurations, control systems. GUIDANCE: - Series may relate to property management schedules. PM A X RA Access may be restricted as part of facility security plans. NOTE: A column may be added for specific agency series numbers to allow for associating a records series with an in-house procedure or policy. A-9-6

9 DATA PROCESSING RECORDS Series # Series Title (Additional Description) Office of Record Retention Period & Transfer Instruction (By Year) Archival (A) or (R) Vital (X) Guidance SG0401 ACTIVITY MONITORING RECORDS Records which monitor the activities of a data processing system. Information includes console logs, physical, and on-line access. AV +1, then SG0402 BATCH / DATA ENTRY CONTROL FORMS Information on all batch or data entry records received by the mainframe. AC +3, then SG0403 COMPUTER HARDWARE MAINTENANCE RECORDS Records documenting the service, repair, and inspection of computer hardware (mainframes, mini and micro computers), which also include service/maintenance agreements. LA +1, then SG0404 COMPUTER JOB SCHEDULES AND REPORTS Schedules or similar records showing computer jobs to be run, and other reports by computer operators or programmers of work performed. AV +1, then LEGEND: Retention Codes: AC-After closed, terminated, completed, expired, settled or last date of contact; AV-As long as administratively valuable; CE-Calendar Year End (December 31st); FE-Fiscal Year End (June 30th); LA-Life of Asset; PM-Permanent; UA-University Archives; US-Until Superseded Archival: A-Record is or may be permanent and have historic value; R-Required review by the Records Manager to determine value. Vital: X-Record is vital for immediate operation of the office of origin or the institution Guidance: RA-Refers to the security needs of a record series. Must be justified. A-9-44

10 APPENDIX 9 - DATA PROCESSING RECORDS Series # Series Title (Additional Description) Office of Record Retention Period & Transfer Instruction (By Year) Archival (A) or (R) Vital (X) Guidance SG0405 COMPUTER UTILIZATION AND BILLING REPORTS Records showing computer use by each agency and any charges for space or time. AC +5, then SG0406 COMPUTER-PRODUCED OUTPUT Machine-produced reports showing transactions that were accepted, rejected, suspended, or processed. AC +2, then SG0407 DATA DOCUMENTATION FOR NON-PERMANENT DATABASES Records generally created during development or modification of an automated system, which are necessary to access, retrieve, manipulate and interpret data in that system, including data element dictionary, file layout, code book or table, and other records that explain the meaning, purpose, structure, logical relationships, and origin of the data elements. This schedule applies to documentation for databases whose information is not considered permanent or otherwise significant, where the information does have definite retention periods. US +1, then GUIDANCE: - US - After superseded or until deletion of database. LEGEND: Retention Codes: AC-After closed, terminated, completed, expired, settled or last date of contact; AV-As long as administratively valuable; CE-Calendar Year End (December 31st); FE-Fiscal Year End (June 30th); LA-Life of Asset; PM-Permanent; UA-University Archives; US-Until Superseded Archival: A-Record is or may be permanent and have historic value; R-Required review by the Records Manager to determine value. Vital: X-Record is vital for immediate operation of the office of origin or the institution Guidance: RA-Refers to the security needs of a record series. Must be justified. A-9-45

11 APPENDIX 9 - DATA PROCESSING RECORDS Series # Series Title (Additional Description) Office of Record Retention Period & Transfer Instruction (By Year) Archival (A) or (R) Vital (X) Guidance SG0408 DATA DOCUMENTATION FOR PRIMARY OPERATIONS DATABASES Records generally created during development or modification of an automated system, which are necessary to access, retrieve, manipulate and interpret data in that system, including data element dictionary, file layout, code book or table, and other records that explain the meaning, purpose, structure, logical relationships, and origin of the data elements. This documentation only includes that of data bases whose information is considered permanent or otherwise significant. User and operational documentation describing how an application system operated from a functional user and data processing point of view, including records documenting data entry, manipulation, output and retrieval, records necessary for using the system, including user guides, system or sub-system definitions, system flowcharts, program descriptions and documentation, job control or work flow records, system specifications, and input and output specifications. This schedule applies to documentation for databases whose information are considered permanent or otherwise significant. Documentation may include metadata and information organized in data warehouse systems. PM Contact State Archivist. SG0409 DATA PROCESSING PLANNING RECORDS Records created and used in the development, redesign, or modification of an automated system or application, including project management records, status reports, system or subsystem specifications, user requirements and specifications, and memoranda and correspondence. May also include studies, analyzes, and short-range plans. PM Contact State Archivist. LEGEND: Retention Codes: AC-After closed, terminated, completed, expired, settled or last date of contact; AV-As long as administratively valuable; CE-Calendar Year End (December 31st); FE-Fiscal Year End (June 30th); LA-Life of Asset; PM-Permanent; UA-University Archives; US-Until Superseded Archival: A-Record is or may be permanent and have historic value; R-Required review by the Records Manager to determine value. Vital: X-Record is vital for immediate operation of the office of origin or the institution Guidance: RA-Refers to the security needs of a record series. Must be justified. A-9-46

12 APPENDIX 9 - DATA PROCESSING RECORDS Series # Series Title (Additional Description) Office of Record Retention Period & Transfer Instruction (By Year) Archival (A) or (R) Vital (X) Guidance SG0410 PROGRAM SOURCE CODE Automated program code which generates the machine-language instructions used to operate an automated information system. Paper copy of program code, flowcharts, maintenance log, system change notices, and other records that document modifications to computer programs. These records are maintained for reference, as backup, to insure adequacy of change documentation, or to rectify errors in program implementation after related programs are replaced, modified, or cease to be used. AC +3, then SG0412 SYSTEM DOCUMENTATION FOR NON-PERMANENT DATABASES US +1, then User and operational documentation describing how an application system operated from a functional user and data processing point of view, including records documenting data entry, manipulation, output and retrieval, records necessary for using the system, including user guides, system or sub-system definitions, system flowcharts, program descriptions and documentation, job control or work flow records, system specifications, and input and output specifications. This schedule applies to documentation for databases whose information is not considered permanent or otherwise significant, where the information does have definite retention periods. GUIDANCE: - US - After superseded or until deletion of database. LEGEND: Retention Codes: AC-After closed, terminated, completed, expired, settled or last date of contact; AV-As long as administratively valuable; CE-Calendar Year End (December 31st); FE-Fiscal Year End (June 30th); LA-Life of Asset; PM-Permanent; UA-University Archives; US-Until Superseded Archival: A-Record is or may be permanent and have historic value; R-Required review by the Records Manager to determine value. Vital: X-Record is vital for immediate operation of the office of origin or the institution Guidance: RA-Refers to the security needs of a record series. Must be justified. A-9-47

13 APPENDIX 9 - DATA PROCESSING RECORDS Series # Series Title (Additional Description) Office of Record Retention Period & Transfer Instruction (By Year) Archival (A) or (R) Vital (X) Guidance SG0413 SYSTEM DOCUMENTATION FOR PERMANENT DATABASES PM User and operational documentation describing how an application system operated from a functional user and data processing point of view, including records documenting data entry, manipulation, output and retrieval, records necessary for using the system, including user guides, system or sub-system definitions, system flowcharts, program descriptions and documentation, job control or work flow records, system specifications, and input and output specifications. This documentation only includes that of databases whose information is considered permanent or otherwise significant. Duplicate copies: AV, then GUIDANCE: - Transfer to State Archives immediately. LEGEND: Retention Codes: AC-After closed, terminated, completed, expired, settled or last date of contact; AV-As long as administratively valuable; CE-Calendar Year End (December 31st); FE-Fiscal Year End (June 30th); LA-Life of Asset; PM-Permanent; UA-University Archives; US-Until Superseded Archival: A-Record is or may be permanent and have historic value; R-Required review by the Records Manager to determine value. Vital: X-Record is vital for immediate operation of the office of origin or the institution Guidance: RA-Refers to the security needs of a record series. Must be justified. A-9-48

14 APPENDIX 9 - DATA PROCESSING RECORDS (This page has intentionally been left blank.) LEGEND: Retention Codes: AC-After closed, terminated, completed, expired, settled or last date of contact; AV-As long as administratively valuable; CE-Calendar Year End (December 31st); FE-Fiscal Year End (June 30th); LA-Life of Asset; PM-Permanent; UA-University Archives; US-Until Superseded Archival: A-Record is or may be permanent and have historic value; R-Required review by the Records Manager to determine value. Vital: X-Record is vital for immediate operation of the office of origin or the institution Guidance: RA-Refers to the security needs of a record series. Must be justified. A-9-49

15 SG NUMBER INDEX SG A-9-44 SG A-9-44 SG A-9-44 SG A-9-44 SG A-9-45 SG A-9-45 SG A-9-45 SG A-9-46 SG A-9-46 SG A-9-47 SG A-9-47 SG A-9-48 L-1 SG NUMBER INDEX

16 INDEX Activity Monitoring Records A-9-44 Batch/Data Entry Control Forms A-9-44 Computer Computer-Produced Output A-9-45 Hardware Maintenance Records A-9-44 Job Schedules And Reports A-9-44 Utilization And Billing Reports A-9-45 Data Documentation For Non-Permanent Databases A-9-6, A-9-45 Documentation For Primary Operations Databases A-9-46 Processing Planning Records A-9-46 A B C D Processing Records A-9-44 Periodic Budget Reports A-9-6 Program Source Code A-9-47 Records Activity Monitoring A-9-44 Computer Hardware Maintenance A-9-44 Data Processing A-9-44 Data Processing Planning A-9-46 Reports Budget, Periodic A-9-6 Computer Job Schedules And Reports A-9-44 Computer Utilization And Billing A-9-45 System Documentation Non-Permanent Databases A-9-47 Permanent Databases A-9-48 P R S 1 INDEX